GW
Gary L. Williams
UNITED ADVISOR GROUP
Union, KY 41091
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CRD#: 1683965
GW
Professional summary
Gary Lee Williams, CFP® is a registered financial advisor currently at UNITED ADVISOR GROUP located in Union, Kentucky.
Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Gary has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Social Security Planning
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Income Management
Estate Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I'M AN EMPLOYEE OF TRI HEALTH; BUS. ADD.: 10500 MONTGOMERY RD., CINCINNATI, OH; START DATE 01/06/03; I DEVOTE 80HRS/MO 56HRS DURING TRADING; MY DUTIES ARE AS A REGISTERED RESPIRATORY THERAPIST. THIS IS NOT AN INVESTMENT RELATED ACTIVITY. INDEPENDENT INSURANCE AGENT. SALES OF INSURANCE PRODUCTS. STARTED11/2023.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Lee Williams's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1994
Experience
Current
December 4, 2023 - Present
UNITED ADVISOR GROUP
Office #1: 10019 Golden Pond Dr, Union, KY 41091RIA
CRD#: 324205
Union, KY
Past
November 22, 2005 - December 8, 2023
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
CINCINNATI, OH
Past
October 11, 2005 - December 8, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
CINCINNATI, OH
Past
November 13, 2001 - October 12, 2005
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
ROCK ISLAND, IL
Past
March 31, 1999 - October 3, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
April 24, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
December 20, 1995 - April 23, 1997
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 26, 1993 - December 4, 1995
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
January 23, 1991 - December 31, 1992
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
September 11, 1989 - December 19, 1990
H.J. STODGHILL & CO. INVESTMENT CORP
BD
CRD#: 18218
FLORENCE, KY
Past
September 20, 1988 - December 31, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
UNITED ADVISOR GROUP
ASCENSION FINANCIAL PARTNERS | WEALTH BY DESIGN | VERTICAL WEALTH PLANNING | UNITED ADVISOR GROUP, LLC | UNITED ADVISOR GROUP | TASIK FINANCIAL STRATEGIES | SUNSET WEALTH MANAGEMENT | STRATEGIC FINANCIAL | SORENSEN FINANCIAL | RJ BEUCLER FINANCIAL | RIGHTSELL & COMPANY | PLUM CREEK WEALTH ADVISORS | MUSTARD MONEY, LLC | MURPHY FINANCIAL GROUP | MICHIANA FINANCIAL PARTNERS, LLC DBA ZAYA WEALTH | MIAMI VALLEY FINANCIAL PARTNERS | LEGACY WEALTH MANAGEMENT, INC. | LEGACY WEALTH MANAGEMENT | KO-ADVISORS | IRONSIDE STRATEGIES | FTACEK FINANCIAL SERVICES | FRONTLINE WEALTH CARE | FLAT IRON WEALTH MANAGEMENT | DESERT GROVE INVESTMENTS | BOVE CONNOLLY TAYLOR FINANCIAL GROUP | BHT WEALTH MANAGEMENT | BENEFIT FINANCIAL SERVICES
CRD#: 324205 / SEC#: 801-127090
RIA
Registered Investment Advisory firm - (1/5/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(12/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UA
UNITED ADVISOR GROUP
ASCENSION FINANCIAL PARTNERS | WEALTH BY DESIGN | VERTICAL WEALTH PLANNING | UNITED ADVISOR GROUP, LLC | UNITED ADVISOR GROUP | TASIK FINANCIAL STRATEGIES | SUNSET WEALTH MANAGEMENT | STRATEGIC FINANCIAL | SORENSEN FINANCIAL | RJ BEUCLER FINANCIAL | RIGHTSELL & COMPANY | PLUM CREEK WEALTH ADVISORS | MUSTARD MONEY, LLC | MURPHY FINANCIAL GROUP | MICHIANA FINANCIAL PARTNERS, LLC DBA ZAYA WEALTH | MIAMI VALLEY FINANCIAL PARTNERS | LEGACY WEALTH MANAGEMENT, INC. | LEGACY WEALTH MANAGEMENT | KO-ADVISORS | IRONSIDE STRATEGIES | FTACEK FINANCIAL SERVICES | FRONTLINE WEALTH CARE | FLAT IRON WEALTH MANAGEMENT | DESERT GROVE INVESTMENTS | BOVE CONNOLLY TAYLOR FINANCIAL GROUP | BHT WEALTH MANAGEMENT | BENEFIT FINANCIAL SERVICES
CRD#: 324205 / SEC#: 801-127090
RIA
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Contact information
Main Address
8170 Corporate Park Dr. Suite 300, Cincinnati, OH 45242
Mailing Address
Phone number
(888) 242-4912
Established
Firm type
Fiscal year end
# of Employees
61
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,875 |
| AUM (Assets Under Management) | $ 1,091,628,945 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED ADVISOR GROUP
CRD#: 324205Union, KY 41091TRUST BUT VERIFY
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Contact information
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